Investment Management, Asset Management, Retail Investors

SEC Could Broaden Path to Private Equity Fund of Funds Investment

DarrowEverett LLP on 7/14/2025

Since the enactment of the Investment Company Act 85 years ago, the asset management industry has grown from $2 billion in assets to more than $39 trillion in assets. Under existing Securities and Exchange Commission (“SEC”)...more

Interval Fund and Tender Offer Fund Opportunities

Seward & Kissel LLP on 6/5/2025

Interval funds and tender offer funds – closed-end funds registered under the Investment Company Act of 1940 (1940 Act) – are gaining appeal among alternative and private fund managers seeking to access the retail and...more

Asia: MAS Consults on Retail Access to Private Market Investment Funds

K&L Gates LLP on 5/5/2025

On 27 March 2025, the Monetary Authority of Singapore (MAS) issued a consultation paper on a proposed regulatory framework to allow retail investors to access private market investments through authorised long-term investment...more

Structured Finance Spectrum – Winter 2025

Alston & Bird on 3/5/2025

Welcome to the latest edition of the Spectrum, covering hot-topic issues in the structured finance markets in the U.S. and UK. This edition features a close look at business development companies, an introduction to project...more

The Markets and Bigger, Faster, Stronger

Dorsey & Whitney LLP on 11/22/2019

A key focus of SEC enforcement has been the retail investor. To that end the Division formed a special unit to focus on cases tied to those investors. Numerous cases have been brought. That focus may also be at least in part...more

FCA Assesses Whether Fund Managers are Meeting Investor Expectations

Proskauer Rose LLP on 5/6/2016

On April 7, 2016, the United Kingdom (UK) Financial Conduct Authority (FCA) published a report (Thematic Review TR16/3: Meeting investors' expectations) (Report) containing its conclusions regarding a thematic review...more